FINRA Disciplinary Actions January 2021
DUSTIN PAUL SCHAFER (CRD #4198962, NEW YORK, NEW YORK) January 7, 2021 – An AWC was issued in which Schafer was barred from association with …
FINRA Disciplinary Actions December 2020
DAVID ALAN STATEMAN (CRD #5530638, MIAMI, FLORIDA) December 1, 2020 – An AWC was issued in which Stateman was barred from association with any FINRA …
GIRARD BENGALI, APC IS PROUD TO ANNOUNCE ROBERT J. GIRARD II, ESQ. HAS BEEN ELECTED TO THE PIABA BOARD OF DIRECTORS
GIRARD BENGALI, APC IS PROUD TO ANNOUNCE ROBERT J. GIRARD II, ESQ. HAS BEEN ELECTED TO THE PIABA BOARD OF DIRECTORS Los Angeles, CA (Nov. …
Girard Bengali, APC, Investigating Cynthia Cowden and NBP Financial Group, LLC
October 30, 2020 – A finance industry regulator, Financial Industry Regulatory Authority (FINRA), has barred former NBP Financial Group advisor Cynthia Cowden (née Case) from …
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Bloomberg | E*Trade Hit With Lawsuit After Investors Burned by Subzero Oil
This post was written and published by Bloomberg on August 18, 2020: E*Trade Hit With Lawsuit After Investors Burned by Subzero Oil By Catherine Ngai …
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ETN Investors: Skydiving Without a Parachute in COVID-19 Economic Freefall
Imagine losing more than $800,000 investing. Now, imagine losing $800,000 investing in just two weeks. Recently, The Wall Street Journal featured the story of William …
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Finra Hits High-Turnover Broker with Excessive Trading Sanction
The era of rogue brokers is not extinct. Between July 2016 and November 2018, Frank Venturelli’s trading caused three customers to lose $373,226 while generating …
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Caribbean Debt Crisis during The Pandemic: Why No Bailout Is in Sight
While the COVID-19 pandemic has had an adverse effect on the global economy as a whole, it is taking an even greater toll on certain …
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Omar Bengali To Moderate PIABA Mediation Panel
Girard Bengali, APC, is pleased to announce that on Tuesday, June 16, 2020, partner Omar Bengali will be moderating a PIABA Virtual Event that teaches …
SEC Charges Investment Adviser and Principals for Breaching Fiduciary Duties
Litigation Release No. 24817 / May 13, 2020 Securities and Exchange Commission v. Ambassador Advisors, LLC, Bernard I. Bostwick, Robert E. Kauffman, and Adrian E. …
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